Providing Regulatory Oversight for Our State's Financial Service Providers. About Our Agency:The Washington State Department of Financial Institutions' (DFI) mission is to protect consumers and advance the financial health of Washington State by providing fair regulation of financial services and educating consumers to make informed financial decisions. Collectively and independently, the Department's nearly 250 employees within its 5 divisions - Administration, Banks, Consumer Services, Credit Unions, and Securities - work together to create a stronger economic future and secure financial environment for Washington's consumers and businesses alike. DFI is self-supporting, in that none of its operating revenues come from the state's general tax funds. Its operating revenues are paid by the organizations and individuals it regulates. To learn more about the Department of Financial Institutions, please visit our website at We employ and serve diverse people of all backgrounds including people of color, women, LGBTQ , people with disabilities, and veterans. This culture of respect promotes a professional and inclusive environment where maximizing potential through opportunity is achievable by everyone. Benefits of working for DFI include:Medical, dental, retirement, and generous paid vacation, sick leave, and holidays. Healthy work-life balance. Commitment to diversity, equity, and inclusion where every person is recognized and valued. Telecommuting up to three days per week and flexible work hours. Professional development and continuing education opportunities, including DFI’s in-house CLE program and other training that ensures employees are successful. You may be eligible for Public Service Loan Forgiveness. About the Division:The Division of Securities, is a dynamic, professional organization where you will experience a remarkable work-life balance - 40 hour weeks with flexible schedules and a dedicated staff. If you are interested in a career with an agency whose primary mission is consumer protection, then the Securities Division is for you. The securities we regulate include cutting edge new products such as cryptocurrency and digital assets, as well as traditional investments such as stocks, bonds and mutual funds. The Securities Division values diverse perspectives and life experiences. We offer a generous benefits package that includes defined benefit retirement plans, health, dental and vision coverage, and deferred compensation plans. Additionally, we license and conduct examinations of the people that provide advice and sell these products and take action against those who violate the Securities Act. This includes bringing administrative, civil, and criminal enforcement cases against respondents. The Licensing and Examination Unit in the Division of Securities is recruiting for a Financial Examiner, which may be filled at the 2, 3 or 4 level, depending on qualifications. Duties DFI’s mission is to regulate our State’s financial services industry to protect the public, promote economic vitality, and preserve integrity in the marketplace. Under direct supervision, the position of a Financial Examiner 2-4 supports the mission of the agency by reviewing initial licensing applications of investment advisers and broker-dealers and their representatives; and in conducting examinations of investment advisers, broker dealers and their representatives and analyzing associated financial records that may lead to administrative, civil or criminal actions. These actions advance DFI’s goals of implementing and enforcing laws regulating financial institutions and consumer protection laws. Some of What You Will Do:Conduct examinations of investment advisers, including portfolio managers, which may involve a team of examiners. Function as intermediary in coordinating requests for records and communication between exam team and investment advisor’s management and personnel. Evaluate investment and financial integrity of investment advisers to ensure adequacy of capital, revenue and income. Interpret state/federal laws and reviews investment adviser’s books and records in determining compliance with all applicable statutes and regulations. Evaluate investment strategies to determine suitability of investments for clients. Perform thorough analysis and review of legal contracts and verifies compliance with the regulations governing unethical business practices. Possess knowledge of federal and state securities laws and regulations, federal and self-regulatory organization requirements, and organizational policies. Maintain familiarity with industry software to allow for evaluation of financial statements and records, strategies, risk assessments and disciplines claimed by industry registrants. Conduct examinations of FINRA brokerage firm branches, multi-state and regional brokerage firms, which may involve a team of examiners. Assist with examinations of securities and investment firms of any size involving the following specialized and complex fields: day trading, market-making activities of firms; due diligence review of brokerage firms bringing high-risk securities of newly formed companies to the financial markets. Evaluate adequacy of registrant supervision, compliance and administration. Assist with reports and deficiency letters detailing examination findings and evaluate the registrant’s response to the deficiency letter to determine if appropriate corrective action is taken. Refer serious examination deficiencies, including law violations, to the enforcement section and recommends action. Work with enforcement attorneys to bring appropriate resolution. Develop strategies for assessing and controlling risk in setting forth examination schedules and cycles for all the types of entities examined by the Securities Division. Qualifications Required Qualifications:20 quarter hours or 12 semester hours of any combination of accounting, economics or finance college coursework. Desired Qualifications:A bachelor's degree in accounting, economics or finance.